Series 66: Delivery Requirements

Taken from our Series 66 Online Guide

Delivery Requirements

To further protect investors from shady new issues, the law requires a prospectus (detailed description of the issue) to be delivered to each investor who purchases a security that has been newly issued by the confirmation of the transaction, which means the time that the security settles. As long as certain requirements are met, this requirement can often be met through access to an online version.

A prospectus co

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